Richard C. Goldman

CONSCIENT CAPITAL

Phoenix, AZ

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CRD#: 1139360

Professional summary

Richard Clement Goldman is a registered financial advisor currently at CONSCIENT CAPITAL, LLC located in Phoenix, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RICH GOLDMAN ASSET MANAGEMENT - RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Clement Goldman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 8, 2009 - Present

CONSCIENT CAPITAL, LLC

RIA

CRD#: 146689

Phoenix, AZ

Past

September 1, 2009 - June 30, 2011

MUTUAL SECURITIES, INC.

CRD#: 13092

SCOTTSDALE, AZ

Past

August 15, 2008 - August 18, 2008

TRIAD ADVISORS LLC

RIA

CRD#: 25803

SCOTTSDALE, AZ

Past

August 15, 2008 - September 1, 2009

TRIAD ADVISORS LLC

CRD#: 25803

SCOTTSDALE, AZ

Past

June 9, 2006 - August 18, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SCOTTSDALE, AZ

Past

October 8, 2004 - August 18, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SCOTTSDALE, AZ

Past

December 2, 1994 - October 22, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 19, 1985 - December 15, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 29, 1984 - June 26, 1985

CUSACK, LIGHT & COMPANY, INC.

CRD#: 13383

Past

March 9, 1984 - June 29, 1984

EMANUEL AND COMPANY

CRD#: 7309

Past

June 22, 1983 - January 13, 1984

GIBRALTAR SECURITIES CO.

CRD#: 7093

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/8/2009)

IAR

New Jersey
(4/26/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/30/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/2007

General Securities Principal Examination

Current Firm

CONSCIENT CAPITAL, LLC

CRD#: 146689 / SEC#: 801-70681

RIA

Registered Investment Advisory firm - (8/28/2012 Terminated)

Arizona

Registered Investment Advisory firm - (2/14/2012 Approved)

Florida

Registered Investment Advisory firm - (12/14/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (3/19/2012 Approved)

New York

Registered Investment Advisory firm - (3/18/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 471-5456

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 30,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard C. Goldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Clement Goldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

CUSACK, LIGHT & COMPANY, INC.

EMANUEL AND COMPANY

GIBRALTAR SECURITIES CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2006

Series 63

Date: 2/26/1986

Series 7

Date: 6/18/1983

Series 9

Date: 8/30/2007

Series 24

Date: 7/6/2007

Current Firm

CONSCIENT CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONSCIENT CAPITAL, LLC

TRUST BUT VERIFY

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